Mr. Brendan Ercole, CFP®

CAMBRIDGE INVESTMENT RESEARCH INC

https://fairpointwealthpartners.com/

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professional profile

Year CFP® Certification Received

2022 | view current certificate

Planning Services Offered

Tax Planning
Retirement Planning
Budgeting
Inheritance
Retirement Income Management
Investment Planning
Comprehensive Financial Planning
Social Security Planning
Socially Responsible Investing

Languages

English

Payment Options

When hiring a CFP^{®️️️️️️️️} professional, it's important to ask how your advisor expects to be paid for services rendered. Different financial advisors may charge differently, or one financial advisor may offer several different ways that clients can choose to pay.

Understanding Payment Models

Disclosures

CFP Board Public Disciplinary History

Effective Date: 1/5/2024

Brendan Ercole, CFP® (Penfield, New York): In January 2024, the Disciplinary and Ethics Commission (Commission) accepted a Consent Order in which Mr. Ercole agreed to a Public Censure for violating CFP Board’s Code of Ethics and Standards of Conduct (Code and Standards). In January and February 2021, in anticipation of joining another firm, Mr. Ercole improperly removed over 200 customers’ nonpublic personal information from his former firm, including dates of birth, drivers’ license numbers and Social Security numbers, without the firm’s or customers’ knowledge or consent. Mr. Ercole also compiled prefilled new account packets containing nonpublic customer information and then caused these pre-filled forms to be saved outside of his former firm’s secure system and disseminated them to customers by mail and email. On February 17, 2023, Mr. Ercole entered into a Letter of Acceptance, Waiver and Consent with the Financial Industry Regulatory Authority, Inc. (“FINRA”) consenting to findings that he failed to observe high standards of just and equitable principles of trade in violation of FINRA Rule 2010 and consented to a 15-business day FINRA suspension and a $7,500 fine. As a result, Mr. Ercole violated Standard A.8 of the Code and Standards, which provides that a CFP® professional must comply with the law, rules and regulations governing Professional Services. Pursuant to his Consent Order with CFP Board, the Commission issued Mr. Ercole an Order of Public Censure.

Case Document

Disclosure Under CFP Board’s Prior Bankruptcy Disclosure Procedures
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Until June 30, 2020, CFP Board made public disclosures about CFP® professionals who had filed a personal or business bankruptcy. These were disclosures and not disciplinary actions or sanctions. These disclosures stay on CFP Board’s website for 10 years. There are more details below on this page.

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Disclosure Information

CFP Board makes available information that a CFP® professional has provided about his or her practice. CFP Board also provides information about any CFP® professional that CFP Board has publicly disciplined or any professional who made a bankruptcy disclosure to CFP Board (more details about bankruptcy below). We cannot guarantee the information the CFP® professional has provided is accurate or complete. You should verify the accuracy of the information yourself.

While the information on this website may be useful to you, there may be more information from other sources you will need or want. Provided below are links to other sources of information about CFP® professionals that may be more recent or that may contain information that has not led to CFP Board discipline and does not appear on CFP Board’s website. The information may include customer disputes, disciplinary actions taken by a regulator or employer, certain criminal matters, and certain financial matters (such as bankruptcy proceedings and unpaid judgments or liens). The links provided below may provide additional information only if the CFP® professional is subject to the oversight of that regulator or SRO. If the CFP® professional is not subject to their oversight, then the link will not provide access to any additional information about that person.

You can find information about CFP® professionals who are subject to Financial Industry Regulatory Authority (FINRA) or Securities and Exchange Commission (SEC) oversight through FINRA’s BrokerCheck and the SEC’s Investment Adviser Public Disclosure databases. Both are free tools you can use to conduct research.
Visit your state securities regulator’s website for more information about brokers and investment advisers and your state insurance department website for more information about insurance professionals.
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About Bankruptcies

Effective June 30, 2020, CFP Board may publicly sanction a CFP® professional for a personal or business bankruptcy that violates CFP Board’s Code of Ethics and Standards of Conduct. (There is no violation if the CFP® professional can make a case that the bankruptcy does not reflect on the professional’s ability to responsibly manage his or her own financial affairs or the financial affairs of the business.) You can find public sanctions in the “CFP Board Public Disciplinary History.” Under the “Prior Bankruptcy Disclosure Procedures” that applied from July 2012 – June 2020, CFP Board published information about a CFP® professional’s verified single bankruptcy in a press release and on CFP Board’s website. These were disclosures, not discipline or sanctions, and remain on CFP Board’s website for 10 years. You may learn more about the disclosure procedures here. You can learn more information about a bankruptcy filing at the U.S. Court’s website. You will be required to register and pay a nominal fee to view the information on that website.